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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

Chad Michael Aucoin

Advisor at CETERA INVESTMENT ADVISERS LLC

BATON ROUGE, LA

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Search this name across graphsid dfx:ria:b7145191-5acc-04ff-e053-1442d5bb02b0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jul 27, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 4, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Jun 4, 2001
First registration: Jul 27, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 4361234

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jul 8, 2026	n/a	yes	BATON ROUGE, LA	Current employment
EDWARD JONES	National bd RIA	Sep 15, 2016	Jul 9, 2026	no	BATON ROUGE, LA\|Napoleonville, LA\|BATON ROUGE, LA\|Covington, LA	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Sep 15, 2016	no	BATON ROUGE, LA\|BATON ROUGE, LA\|BATON ROUGE, LA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Nov 14, 2007	Oct 1, 2012	no	BATON ROUGE, LA\|BATON ROUGE, LA\|BATON ROUGE, LA\|BATON ROUGE, LA\|BATON ROUGE, LA\|BATON ROUGE, LA\|BATON ROUGE, LA\|BATON ROUGE, LA	Previous registration
CAPITAL ONE INVESTMENTS, LLC	n/a	Nov 5, 2007	Nov 16, 2007	no	BATON ROUGE, LA	Previous registration
MORGAN KEEGAN & COMPANY, LLC	Former SEC adviser	Aug 1, 2006	Nov 7, 2007	no	NEW ROADS, LA\|BATON ROUGE, LA\|BATON ROUGE, LA\|BATON ROUGE, LA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jul 27, 2006	Aug 3, 2006	no	BATON ROUGE, LA\|BATON ROUGE, LA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
EDWARD JONES	CETERA INVESTMENT ADVISERS LLC	Jul 9, 2026	Jul 8, 2026	-1	Firm change	Ibd to ibd
J.P. MORGAN SECURITIES LLC	EDWARD JONES	Sep 15, 2016	Sep 15, 2016	0	Firm change	Wirehouse to ibd
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
CAPITAL ONE INVESTMENTS, LLC	CHASE INVESTMENT SERVICES CORP.	Nov 16, 2007	Nov 14, 2007	-2	Firm change	Other
MORGAN KEEGAN & COMPANY, LLC	CAPITAL ONE INVESTMENTS, LLC	Nov 7, 2007	Nov 5, 2007	-2	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	MORGAN KEEGAN & COMPANY, LLC	Aug 3, 2006	Aug 1, 2006	-2	Firm change	Other

Relationships

Registered with (6)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jul 8, 2026 to presentfactForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Sep 15, 2016 to Jul 9, 2026factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Sep 15, 2016factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Nov 14, 2007 to Oct 1, 2012factForm ADV
→ CAPITAL ONE INVESTMENTS, LLCRegistered adviserregistration: previous registration
Nov 5, 2007 to Nov 16, 2007factForm ADV
→ MORGAN KEEGAN & COMPANY, LLCRegistered adviserregistration: previous registration
Aug 1, 2006 to Nov 7, 2007factForm ADV

Dated events

Occurred
Jul 9, 2026
Advisor changed firm
Chad Michael Aucoin left Edward Jones for Cetera Investment Advisers Llc (registered 2026-07-08)
Form ADVobserved 6 days ago